Advisers on the Move

Never miss a move. The industry's only comprehensive database of financial advisers and brokers changing firms. View over a decade of recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Derek Louis SausaM Holdings Securities, Inc.Citigroup Global Markets Inc.09-03-2019
Jaime Luis DiazCetera Investment Services LLCCitigroup Global Markets Inc.02-26-2019
Vanessa Sandra MahoneyMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.06-07-2018
Brett M. GoldsteinLPL Financial LLCCitigroup Global Markets Inc.$10009-08-2015
William J. Minsch IIIMorgan StanleyCitigroup Global Markets Inc.03-05-2015
David Lee ShafranekProspera Financial Services, Inc.Citigroup Global Markets Inc.04-15-2014
Enrique J. MaganaPNC InvestmentsCitigroup Global Markets Inc.03-14-2011
Robert William TothVALIC Financial Advisors, Inc.Citigroup Global Markets Inc.09-08-2010
Michael Alan ShermanMutual of Omaha Investor Services, Inc.Citigroup Global Markets Inc.01-20-2010
Lesley Anne DraperRegentAtlanticCitigroup Global Markets Inc.09-16-2009
Jeremy R. GussickLPL Financial LLCCitigroup Global Markets Inc.06-24-2009
Timothy Edward DalyJanney Montgomery Scott LLCCitigroup Global Markets Inc.06-15-2009
Ricky David ChernokUBS Financial Services Inc.Citigroup Global Markets Inc.06-15-2009
Leslie Steele AshMorgan StanleyCitigroup Global Markets Inc.$20006-01-2009
Paul Stuart MandelMorgan StanleyCitigroup Global Markets Inc.$20006-01-2009
Richard Michael BeltramMorgan StanleyCitigroup Global Markets Inc.$20006-01-2009
Joseph Francis DursoMorgan StanleyCitigroup Global Markets Inc.$20006-01-2009
Thomas Anthony CarlMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
William Donovan ArdMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Perry Clark LeeMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Richard George WilsonMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Kate Patricia SweeneyMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Joseph Michael BrownMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Thomas Michael DefinoMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Francis Gordon BitterlyMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Next Page »

Showing 1 to 25 of 285 entries

Page 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12

Disclaimer & Methodology: The InvestmentNews Advisers on the Move database is designed to capture all recruiting activity of retail financial advisers/teams of advisers as they move from one firm to another. The activity recorded within the database comes from a number of sources, including InvestmentNews and other media reports; press releases; direct submissions that have been reviewed by InvestmentNews; and regulatory filings. To qualify as a move, no more than 60 days can have elapsed between the date an adviser/team leaves one firm and the date they join another. Any adviser registration changes that came as a result of merger & acquisition activity are not recorded as moves in the database. Finally, please note that all AUM data is user-submitted and is not audited by InvestmentNews or any regulatory agency. When AUM data is unavailable, a “ — “ is listed in the record’s AUM field entry. All data and information is the property of InvestmentNews LLC and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews LLC. Data may only be viewed on and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting It'll help us continue to serve you.

Yes, show me how to whitelist

Ad blocker detected. Please whitelist us or give premium a try.